RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA Says Video Conferences Now a Permanent Hearing Option
By Melanie WaddellVideo conference hearings will be allowed for disciplinary and enforcement hearings under certain conditions.
July 31, 2023
Why the Life Insurance Industry Must ChangeTaking three months to get a policy is so 1993.
July 20, 2023
MOVEit Data Breach Hits 30 Colleges via TIAA, Other VendorsThe Teachers Insurance and Annuity Association of America's vendor, PBI Research, used the software and experienced a "cybersecurity incident."
July 06, 2023
Ransomware Gang Has 6M Life and Annuity Client RecordsKnown victims include Genworth, F&G and the department that oversees Medicare.
April 27, 2023
House Panel Passes E-Delivery BillThe bill requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
April 26, 2023
Branch Offices Lack Policies for Protecting Client Records: SECThis failure has resulted in firms falling victim to cybersecurity and data breaches, according to an SEC risk alert.
April 13, 2023
Phishing Scams on the Rise: FINRAThere are some key ways to spot these scams to protect both clients' identities and their assets, the regulatory group points out.
March 30, 2023
Fraudulent BD Account Transfers on the Rise: FINRABad actors can use information stolen from broker-dealer clients to open new accounts at other firms, or receiving members.